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Compliance Officer

2 months ago

Navi Mumbai, India JAS ONE SECURITIES PRIVATE LIMITED Full time

Company Name: Jas-One Securities Pvt Ltd

Company Description: National Stock Exchange card holders since 1995. We are not a listed company.

Position: Compliance Officer For National Stock Exchange.

Job Location: Turbhe, Pawane, New Mumbai


Responsibility:

  • Excellent knowledge of NSE and SEBI rules and Regulations
  • Prepare and submit required regulatory reports and fillings to SEBI & NSE in a timely & accurate manner.
  • Liaise with regulatory bodies such as SEBI, RBI, and others for reporting and compliance requirements.
  • Conduct regular compliance audits and risks assessments to identify potential vulnerabilities.Awareness of where possible regulatory breaches may occur.
  • Coordinate with internal auditor and Statutory auditor for timely submissions to NSE and SEBI.
  • Implement and manage an effective legal compliance program.
  • Advise management on the company’s compliance with laws and regulations through detailed reports
  • Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks. understand the Arbitration related matters.


Requirements:


  • NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Examination Certification will be an added advantage.
  • In-depth knowledge of SEBI regulations, financial markets, and trading operations.
  • 2-3 years’ proven experience in a compliance officer role.
  • Good knowledge of legal requirements and procedures.
  • Brilliant oral and written communication skills.